Securities Markets Investigation: Hearings Before a Subcommittee of the Committee on Interstate and Foreign Commerce, House of Representatives, Eighty-seventh Congress, First Session on H. J. Res. 438U.S. Government Printing Office, 1961 - 178 lappuses Considers legislation to authorize SEC to investigate effectiveness of securities industry self-regulation, including operations of stock exchanges and the National Association of Securities Dealers. |
No grāmatas satura
1.–5. rezultāts no 52.
9. lappuse
... give testimony on pro- posed legislation . Mr. CARY . Without going into those precedents , I would like to go back to this study as proposed . It seems to me that it is important because we do not have current data on market practices ...
... give testimony on pro- posed legislation . Mr. CARY . Without going into those precedents , I would like to go back to this study as proposed . It seems to me that it is important because we do not have current data on market practices ...
10. lappuse
... give two examples , there has been evidence of the failure of brokers and dealers to keep required books and records . They simply cannot keep up with the volume . There has also been a failure of broker - dealers to deliver securities ...
... give two examples , there has been evidence of the failure of brokers and dealers to keep required books and records . They simply cannot keep up with the volume . There has also been a failure of broker - dealers to deliver securities ...
14. lappuse
... give you no authority to go into the Invest- ment Company Act ? Mr. COHEN . We have that authority under the Investment Com- pany Act , sir . Mr. DINGELL . I am concerned , because as I read the financial pages , there are billions of ...
... give you no authority to go into the Invest- ment Company Act ? Mr. COHEN . We have that authority under the Investment Com- pany Act , sir . Mr. DINGELL . I am concerned , because as I read the financial pages , there are billions of ...
18. lappuse
... give rise to an action on the part of the Commission under section 36 of the act , which is a provision vesting in the Commission authority to seek the ouster of officers , directors , and investment advisers , when they have been ...
... give rise to an action on the part of the Commission under section 36 of the act , which is a provision vesting in the Commission authority to seek the ouster of officers , directors , and investment advisers , when they have been ...
24. lappuse
... give the brokerage commissions received , set forth as called for by item ( c ) above . ( e ) Set forth for the alst fiscal year the total cost of portfolio securities ( in- cluding Government securities ) purchased by the investment ...
... give the brokerage commissions received , set forth as called for by item ( c ) above . ( e ) Set forth for the alst fiscal year the total cost of portfolio securities ( in- cluding Government securities ) purchased by the investment ...
Bieži izmantoti vārdi un frāzes
activity American Stock Exchange amount Association of Securities board of governors British American Tobacco broker broker-dealers Canadian Javelin capital CARY Chairman CLAFLIN COHEN common common)¹ concerning Congress Corp corporation correct CURTIN DINGELL director disciplinary action disclosure enforcement Exchange Commission fact filed firm floor committee FUNSTON Gerard F GLENN HEMPHILL House Joint Resolution industry interest investigation investment adviser investment company investors issues Joint Resolution 438 KEITH listed LOOMIS MACK manipulation matter McCORMICK MOONEY mutual funds NASD national securities exchange odd-lot operations over-the-counter market partner percent person principal underwriter problem purchase question referred registered regulations REILLY respect rules Securities and Exchange Securities Dealers Securities Exchange Act securities markets sell shares specialist statement stockholders subcommittee tion trading transactions unlisted violation Wall Street Journal York Stock Exchange
Populāri fragmenti
2. lappuse - Act of 1934 is amended by adding at the end thereof a new subsection as follows : "(d) The Commission is authorized and directed to make a study and investigation of the adequacy, for the protection of investors, of the rules of national securities exchanges and national securities associations...
5. lappuse - Act of 1923, as amended, an executive secretary, and such attorneys, examiners, and regional directors, and shall appoint such other employees with regard to existing laws applicable to the employment and compensation of officers and employees of the United States...
69. lappuse - A member, in the conduct of his business, shall observe high standards of commercial honor and just and equitable principles of trade.
25. lappuse - Include the name of each person whose Interest In any transaction Is described and the nature of the relationship by reason of which such Interest Is required to be described. Where It is not practicable to state the approximate amount of the Interest, the approximate amount Involved in the transaction shall be indicated.
148. lappuse - ... checks, money orders, or similar instruments, any broker or dealer in securities registered or required to be registered with the Securities and Exchange Commission under the Securities Exchange Act of 1934...
23. lappuse - ... it is not practicable to state the approximate amount of the interest, the approximate amount involved in the transaction shall be indicated. 2. As to any transaction involving the purchase or sale of assets by or to the bank or any subsidiary. otherwise than in the ordinary course of business, state the cost of the assets to the purchaser and the cost thereof to the seller if acquired by the seller within two years prior to the transaction.
72. lappuse - The rules of a registered securities association may provide that no member thereof shall deal with any nonmember broker or dealer (as defined in paragraph (2) of this subsection) except at the same prices, for the same commissions or fees, and on the same terms and conditions as are by such member accorded to the general public.
173. lappuse - The supplying of all or substantially all the stock bid for on the book at a price equal to the last sale, when the stock so bid for represents all or substantially all the stock bid for in the market. "Transactions...